In 2013, the Sandy Recovery Improvement Act (SRIA) amended the Robert T. Stafford Act to provide federally recognized Tribal governments the authority to request Stafford Act assistance independent of a state if they choose to do so.

To implement SRIA, FEMA sought extensive input from Tribal governments to inform drafts of the Tribal Declarations Pilot Guidance. FEMA conducted three rounds of Tribal consultations and 174 listening sessions around the country and received over 2,000 comments which were used to develop the final version of the guidance.

Tribal governments that elect to seek Public Assistance can choose to request assistance either as an Applicant or a Recipient in one of three ways.

1. Applicant/Subrecipient under a state declaration
2. Recipient under a state declaration
3. Recipient with a direct declaration (requires the Tribe to request a major disaster or emergency declaration)

Tribal governments make this decision on a disaster-by-disaster basis.

As an Applicant, the Tribal government will coordinate with the State to apply for assistance and receive reimbursement. As a Recipient, a Tribal government will work directly with FEMA, and will be required to sign a FEMA-Tribe Agreement and be subject to the responsibilities of a Recipient.

There are two ways to apply for Public Assistance as a Recipient, and one way to apply as an Applicant.

Following a disaster, Tribal governments have the following options to apply for assistance:

·        Direct Federal Assistance: FEMA directs other Federal agencies to carry out eligible emergency work that the Tribal government cannot perform

·        State Declarations for Public Assistance: Tribal government can elect to receive assistance either as an Applicant or a Recipient

·        Tribal Declaration: A Tribe can request to receive assistance as a direct Recipient

To receive a direct tribal declaration, the Tribal government follows this Declaration Request Process:

1. Tribal Government Activates the Tribal Emergency Plan: If an incident affects the Tribal government, the Tribal government activates the Tribal emergency plan and dedicates resources to response activities.

2. Tribal Government Conducts Initial Damage Assessment: The Tribal government collects initial damage estimates to identify needs; seeks resources for unmet needs from non-governmental organizations, other Tribal governments or organizations, State and local governments, and Federal agencies for non-Stafford Act assistance.

3. Tribal Government Requests Joint Preliminary Damage Assessment: If the Tribal government determines that needs remain after all other resources are exhausted, the Tribal Chief Executive requests a Joint Preliminary Damage Assessment from the FEMA Regional Administrator to evaluate damages and potential need for Robert T. Stafford Act assistance.

4. Tribal Government Reviews Results of Joint Preliminary Damage Assessment: If the Tribal government determines Stafford Act assistance may be needed, the Tribal government should then determine whether to submit a request for a Presidential declaration on its own or to be considered part of a State declaration request.

5. Tribal Chief Executive Submits a Declaration Request: The Tribal Chief Executive submits a declaration request within 30 days of the end of the incident period to the President, through the FEMA Regional Administrator. The request is based on damage assessment findings, describes impacts of the disaster, and specifies requested programs, among other requirements. The tribe may request one or more extensions to the deadline as long as the request is submitted within 30 days of the end of the incident period and a reason for the delay is provided.

6. FEMA Reviews the Declaration Request: FEMA reviews the request and sends its recommendation to the President.

7. President Makes a Determination: FEMA notifies the Tribal Chief Executive of the President's decision. If the President denies the request or denies part of the request, then the Tribal government may appeal. The appeal should be submitted within 30 days of the date of the denial and should include additional information to support the appeal.

Tribal governments can request technical assistance to complete the required forms through the Regional Administrator. The documentation required to submit when requesting a major disaster declaration includes:

• FEMA Form 010-0-13: Request for Presidential Disaster Declaration: Major Disaster or Emergency (OMB Control Number 1660-009).
• Minimum necessary information and certifications legally required by the Robert T. Stafford Act and must be signed by the Tribal Chief Executive or his/her authorized designee
• Incident Period (Number 7 on FEMA Form 010-0-13)
• Time interval during which the incident occurs.
• Generally, a narrow timeframe
• Disaster assistance will not be made available for damage that occurs outside of the incident period
Tribal Declaration Request Cover Letter in support of the Chief Tribal Executive's request

• Incident Type (Number 7b on FEMA Form 010-013)
• Category of event meeting the Robert T. Stafford Act definition of a major disaster or emergency which caused the damage (e.g. severe storms, flooding, mudslides)
• FEMA cannot make a recommendation if incident type has not been identified
• Description of Resources Committed to Disaster Response and Recovery (Number 9 on FEMA Form 010-0-13)
• Include information describing Tribal resources that have been or will be committed to alleviating the results of the disaster

• Types of Assistance Requested (Number 11 on FEMA Form 010-0-13)
• Chief Executive must provide information indicating the types of Federal assistance needed. FEMA programs should be specifically requested
  
• Chief Executive may request all or selected programs associated with Individual Assistance and/or all or selected categories of work for Public Assistance
  
• Chief Executive should include a statement that a Joint Preliminary Damage Assessment was requested, when it was completed, and a description of the damage
  
• The results of the Joint Preliminary Damage Assessment should be submitted with the request
  
• Assistance from Other Federal Agencies (Number 13 on FEMA Form 010-0-13)
• Include information describing other Federal agency resources used in responding to the incident
  
• Describing the scope of the response and recovery effort ensures that Robert T. Stafford Act assistance does not duplicate resources

• Finding that the Event is Beyond the Capability of the Tribal Government (Number 14a on FEMA Form 010-0-13)
• The situation is of such severity and magnitude that effective response is beyond the capability of the Tribal government
• Support the Chief Executive's finding that the Tribal government's capabilities are overwhelmed and explain why supplemental Federal assistance is needed
• Direction of the Tribal Emergency Plan (Number 14b on FEMA Form 010-0-13)
• Confirmation that the Chief Executive has taken appropriate action under Tribal law and directed the execution of the Tribal emergency plan, and the date on which the Chief Executive directed execution of the plan

Tribal governments that elect to seek Public Assistance through a State declaration can choose to receive assistance either as a Recipient or an Applicant.

As a Recipient under a state, the Tribal government will work directly with FEMA, largely without State involvement, and will be subject to all the responsibilities of a Recipient, which include:

• Signing a FEMA-Tribe agreement
• Financial and grants management requirements
• Compliance with the Robert T. Stafford Act, FEMA's regulations, and all other applicable laws
• Monitoring Applicants
• Meeting the non-Federal cost share requirement

As an Applicant, the Tribal government will coordinate with the State to apply for assistance and receive reimbursement.

The FEMA-Tribe Agreement contains the understandings, commitments, and conditions under which FEMA's disaster assistance will be provided. No disaster funding or Direct Federal Assistance will be authorized until the FEMA-Tribe Agreement has been signed. Terms and conditions include, but are not limited to:

• Incident period
• Incident type
• Areas designated; if applicable
• Programs authorized
• Cost share provisions
• Designation of Tribal Coordinating Officer and Tribal Chief Executive's Authorized Representative(s)
• Requirements that the Tribal government follow all program eligibility requirements

This agreement is signed by the FEMA Regional Administrator, or his/her designee, and the Chief Executive of the Tribal government, and can be amended after signed.

The Tribal Recipient must submit an Application for Federal Assistance (SF-424) and Assurances (SF 424-D) before FEMA provides assistance.

The Public Assistance program provides funding, typically through reimbursement, for emergency work and/or permanent work, including the repair, replacement, or restoration of disaster-damaged, government-owned/operated facilities and the facilities of certain private nonprofit organizations.

A Tribal Government may elect to be an Applicant under a State declaration. The Recipient distributes the funds to the appropriate Applicant.

If electing to be an Applicant under a State declaration, the Tribal government may be eligible to receive Public Assistance permanent work through the State and may also be eligible to receive Hazard Mitigation Grants Program funds for planning grants without a Tribal Mitigation Plan. Applicant Tribal governments are not required to have a Public Assistance Administrative Plan.

The Exploratory Call is the first opportunity to establish a relationship between the Recipient and FEMA. It sets the foundation for the Recipient to have an efficient and successful Public Assistance grant process.

For more information, refer to the IS-1003 Exploratory Call course.

To receive FEMA assistance, tribes must document their disaster-related damage in a process called a preliminary damage assessment (PDA). Tribes have the option to participate in the PDA process in different ways:

1. State declaration approach: When a tribe wants to participate in a state Presidential disaster declaration, it should coordinate with the state; it should send initial damage assessment data to the state for verification before participating in a joint PDA with FEMA and the state.

2. Tribal declaration approach: When a tribe wants its own Presidential disaster declaration, it should request a joint PDA request directly from FEMA.

3. Approach unclear: When a tribe is unsure how it wants to proceed, it should strongly consider participating in the state PDA process, knowing it could decide to request its own joint PDAs and Presidential disaster declaration at all times.

The Applicant is required to identify and report all of its disaster-related damage, Emergency Work activities, and debris quantities to FEMA within 60 days of the Recovery Scoping Meeting. FEMA may extend the deadline for identifying and reporting damage if the Recipient submits a request in writing with justification based on extenuating circumstances beyond the Recipient's or Applicant's control. For example, if a site is inaccessible, FEMA may extend the deadline for that site.

Documentation required to support the damage claim includes:

• Documentation to support legal responsibility (e.g. deeds, titles, etc.)
• Photographs of debris impacts or facility damage
• Estimated costs
• Summary of insurance coverage
• Records demonstrating immediate threat (e.g. technical reports, safety inspector report, etc.)
• Detailed description of damage with specific dimensions
• Documentation supporting pre-disaster condition of facility (e.g. facility maintenance records, inspection/safety reports)

To make a recommendation to the President for whether or not to make a declaration, FEMA uses data from joint PDA's and from the tribal declaration request package to evaluate the following factors and determine whether an event has overwhelmed the capabilities of the Tribal government and that Robert T. Stafford Act assistance is necessary:

• Minimum Damage Amount
• Impacts on the communities

Absent extraordinary circumstance, FEMA will consider a declaration request from a Tribal government only if it is determined that there was impact from the damage and the Tribal government sustained at least $250,000 in Public Assistance-eligible estimated damages or costs, not including damage covered by insurance.

Alternatively, if a tribe chooses to request assistance under a state declaration, it must reach the damage cost indicator (i.e., per capita indicator) of a typical declared area (i.e., county, parish, borough, municipality) to be a declared entity under the state declaration.

When a Tribal government elects to request a Presidential declaration on its own or serve as a Recipient as part of a State declaration, a FEMA-approved Mitigation Plan is required prior to receiving Hazard Mitigation Grant Program assistance or Public Assistance permanent work (Categories C-G).

Absent extraordinary circumstances, FEMA will consider a declaration request from a Tribal government only if it is determined that the tribe sustained at least $250,000 in Public Assistance eligible estimated damage or costs.

• The impacts from the incident are consistent with the factors FEMA uses to make recommendations to the President
• Unmet needs can be addressed by other resources, such as insurance, non-governmental organizations, or assistance from other Tribal governments and/or organizations

The Tribal government will also need to document Category Z, Section 324 Management Costs (such as indirect costs, administrative expenses, and other expenses) incurred by the Recipient in administering and managing Public Assistance awards not directly chargeable to a specific project.

Regarding potential cost share adjustments, the Tribal government should note that:

• If Federal disaster obligations meet or exceed the per capita requirement (updated annually for inflation), FEMA will recommend that the President increase the Federal Public Assistance cost share from 75% to not more than 90%
• The tribe's population on or near Tribal lands determines per capita calculations. If warranted by the needs of the disaster FEMA may recommend up to 100% Federal funding for emergency work, including direct federal assistance, for a limited period in the initial days of a disaster, regardless of the per capita impact. 

The Tribal government will be responsible for the distribution and oversight of funding that FEMA obligates to the disaster, including compliance with Records Management and Auditing Requirements.

• Develop Public Assistance projects
• Participate in environmental and historic preservation reviews
• Identify and implement eligible mitigation projects
• Submit grant applications for desired Individual Assistance programs
• Identify a Hazard Mitigation Officer to administer the Hazard Mitigation Grant Program
• Identify a liaison to work with a FEMA Disability Integration Advisor

As an Applicant to a State, the Tribal government will have the following considerations:

• Shared non-Federal cost share with Recipient
• Reduced administrative responsibilities. The Recipient does the following:
• SF-424
• Mitigation plan
• Public Assistance Administrative Plan
• Close out monitoring

 In addition, Applicants may:

• Be able to receive Public Assistance permanent work through the State without a Mitigation Plan
• Be able to receive Public Assistance without a Public Assistance Administrative Plan

After every Emergency or Major Disaster declaration, FEMA and the Tribal government receiving the declaration enter into a FEMA-Tribe Agreement signed by the FEMA Regional Administrator or his/her designee, and the Chief Executive of the Tribal government.  Tribes acting as Recipients under a state declaration must also sign a FEMA-Tribe Agreement.

The agreement contains the understandings, commitments, and conditions under which FEMA's disaster assistance will be provided.

No disaster funding or direct Federal assistance will be authorized until the FEMA-Tribe Agreement has been signed.

FEMA-Tribe Agreement terms and conditions include, but are not limited to:

• Incident period
• Incident type
• Areas designated, if applicable
• Programs authorized
• Cost share provisions
• Designation of Tribal Coordinating Officer and Tribal Chief Executive's Authorized Representative(s)
• Requirement that the Tribal government follow all program eligibility requirements

Once signed, the FEMA-Tribe Agreement can be amended upon agreement of FEMA and the Tribal government.

Tribal Recipients must develop a disaster-specific Public Assistance Administrative Plan regardless of whether they are under a state declaration or have their own declaration.  Technical Assistance may be requested through the Regional Administrator to develop the plan.

The plan must:

• Designate the Tribal agency which will act as the Recipient
• Describe the staffing plan, including management and oversight responsibilities
• Detail procedures for processing project appeal requests and requests for time extensions
• Describe procedures to comply with the administrative requirements of 44 C.F.R. 206.207(b) and 2 CFR Part 200

FEMA has a Public Assistance Administrative Plan Template for Tribal Governments. Tribal Applicants do not need a Public Assistance Administrative Plan.

A Tribal government must have a FEMA-approved Mitigation Plan that meets the requirements in 44 CFR 201.7 to receive disaster funding for the Hazard Mitigation Grant Program and Public Assistance Categories C-G, if serving as a Recipient.

For more information on mitigation planning requirements, see FEMA’s Tribal Mitigation Plan Review Guide.

After a disaster declaration, the Tribal Recipient has 30 days to submit an approved plan. An "approved plan" is a Mitigation Plan that a Tribal government has adopted and FEMA has reviewed and approved. The Tribal government may request an extension of up to 90 days to submit an approved plan. Technical Assistance may be requested through the Regional Administrator to develop the plan.

During this period of up to 120 days, the Tribal Recipient may work with FEMA to develop Public Assistance projects. If no Tribal Mitigation Plan is approved within this timeframe, then FEMA will stop work on any Public Assistance Category C-G projects under development. Without a Tribal Mitigation Plan, funding for Hazard Mitigation Grant Program and Public Assistance Categories C-G will not be made available. Tribal Applicants do not need a Mitigation Plan to receive Public Assistance.

If a Tribal government elects to seek Public Assistance through a State declaration, they can choose to receive assistance as either an Applicant or a Recipient.

As an Applicant, the Tribal government will coordinate with the State to apply for assistance and receive reimbursement.

As a Recipient, the Tribal government will work directly with FEMA. As a Recipient, the Tribal government will be required to sign a FEMA-Tribe Agreement and subject to all the responsibilities of a Recipient.

The responsibilities of a Tribal Recipient include:

• FEMA-Tribe Agreement
• Public Assistance Administrative Plan
• All financial and grants management requirements
• Ensuring compliance with the Stafford Act, FEMA's regulations, and all other applicable laws
• Monitoring any Applicants
• Meeting the non-Federal cost share requirement
• Having an approved Tribal Mitigation Plan if receiving Public Assistance Permanent Work

The Tribal government is accountable for all statutory and regulatory requirements for funds dispersed to or through the Tribal government for that program.

Recipient and Applicant grant management requirements are outlined in other courses such as "1009 - Conditions of the Public Assistance Grant."

When a Tribal government acts as a Recipient, a Tribal Coordinating Officer is appointed by the Tribal Chief Executive to act in cooperation with FEMA's Federal Coordinating Officer to administer disaster recovery efforts.

The Tribal Chief Executive's Authorized Representative is designated as part of the FEMA-Tribe Agreement and empowered with fiduciary responsibility for the Tribal government during the disaster.

The Tribal Chief Executive's Authorized Representative executes all necessary documents for disaster assistance on behalf of the Tribal government.

A single individual may serve as both the Tribal Coordinating Officer and the Tribal Chief Executive's Authorized Representative.

The Federal Coordinating Officer is the lead Federal official at incident site, identified by the President to work with the Tribal government and administer authorized Federal disaster assistance. The Federal Coordinating Officer is responsible for:

• Assuring that Federal assistance is provided in accordance with the declaration, laws, regulations, and the FEMA-Tribe Agreement
• Performing the initial appraisal of the types of relief most urgently needed
• Establishing necessary field offices
• Coordinating the relief activities of State, Tribal, and local governments, as well as other disaster assistance organizations

If the area affected by a major disaster or emergency includes more than one State, the President may appoint a single Federal Coordinating Officer for the entire affected area and deputy Federal Coordinating Officer(s).

The FEMA-Tribe Agreement is provided by the FEMA Regional Office and signed by the tribe.

• Tribal Authorized Representative
• Deputy Tribal Authorized Representative (optional)
• Tribal Coordinating Officer
• Deputy Tribal Coordinating Officer (optional)
• Comptroller
• Tribal Hazard Mitigation Officer

Recipients will adhere to grant lifecycle reporting requirements. Recipients spend the grant award in accordance with the allowable activities scoped in the program guidance. They submit quarterly financial reports and semi-annual progress reports on implementation.

The law requires that information about entities and organizations receiving Federal funding be disclosed to the public via a central website, USA Spending.

Applicants give their reporting data to Recipients; Recipients submit all required data via the Federal Funding Accountability and Transparency Act Sub-Award Reporting System; and Federal grant-making agencies publish program data on USASpending.gov.

Recipients are expected to include the following types of data in their reporting:

• Financial data: expenses paid for with Federal funds
• Compliance information: ensure the Recipient is following Federal regulations
• Project data: highlight progress and/or community impact

Required information may be collected through regular progress reports, site visits, and audits.

Tribal governments do not always have geographical boundaries and some have boundaries that cross State lines. Therefore, Tribal government declarations do not often define specific designated geographical areas and may instead designate the tribe as a designated entity. If a specific designated area is not defined in the declaration, FEMA determines eligibility based on legal responsibility and Public Assistance Program eligibility criteria, including whether the work is directly related to the declared incident.

The State may request a Joint Preliminary Damage Assessment before the Tribal government requests one. The State's request may include counties which also may damaged facilities that are the legal responsibility of a Tribal government within the county boundaries.

In such instances, FEMA and the State will contact the Tribal Chief Executive or other appropriate Tribal official of the affected Tribal government and ask if the Tribal government would like to participate in the Joint Preliminary Damage Assessment.

Tribes with legal responsibility in multiple states, that have not requested their own tribal declarations, may only receive federal assistance for damage in the states that have disaster declarations.

State disaster declarations have “designated areas,” which are counties, parishes, municipalities, etc that have damage estimates that have reached the county per capita indicator. The 2020 county per capita indicator, which is adjusted for inflation each year, was $3.84 of damage for every person in the county. If a tribe has damage in a designated county, it can be an Applicant under a state declaration and the damage it is legally responsible for that falls in that county is potentially eligible for Public Assistance. When a tribe chooses to be a Recipient, the tribe is considered a “designated entity” and all disaster-related damage that is the legal responsibility of the “designated entity” is potentially eligible for Public Assistance. For tribes that are acting as recipients under a state declaration, eligible damage is limited to state boundaries. For tribes that have their own disaster declaration, all damage that is the legal responsibility of the tribe regardless of its geographic location is potentially eligible.

For example, a Tribe owns land in various locations throughout many counties in Nebraska and Iowa. If Nebraska had a presidential declaration, as an Applicant, the tribe’s damage would need to fall in a county in Nebraska that has been approved as a designated area for the state. As a Recipient, all tribal damage in the State of Nebraska would be potentially eligible. To receive assistance for damage in Iowa, the tribe would need to work separately under and/or with Iowa, or would need to request their own disaster declaration.

Here is an example of a Tribal holding in a nondeclared jurisdiction:

A Tribal government in Florida owns land in various locations. The Tribe is primarily located in Palm Beach County. In addition, the Tribe owns properties in Ft. Lauderdale (Broward County) and in Tampa (Hillsborough County).

A hurricane made landfall in southeast Florida near West Palm Beach (Palm Beach County). Palm Beach County was highly impacted, but the hurricane was compact in size and Broward County was not significantly impacted. As a result, the county was not designated in the declaration, but a tornado impacted the Tribe's property in Broward County and there are potentially eligible claimed costs. When the hurricane crossed the State, it exited in Manatee County and, as a result, Hillsborough County was also largely unscathed. However, a straight-line wind within an outer band of the hurricane devastated the property located in that county.

In such an event, damages to all these Tribal Properties (inside and outside of designated counties) may be considered when the Tribe serves as a Recipient.